Legal & Compliance Director
Full-time
Director/C-Level
1 month ago
Key Responsibilities:
Develop and implement comprehensive legal and compliance policies and procedures across the organization.
Conduct regular r.....
Key Responsibilities:
- Develop and implement comprehensive legal and compliance policies and procedures across the organization.
- Conduct regular risk assessments and implement appropriate mitigation strategies.
- Support the launch of new products and services, ensuring they meet regulatory requirements.
- Oversee the company’s compliance program, ensuring activities are executed effectively and meet all regulatory requirements.
- Provide strategic legal advice to the executive team on all significant issues affecting the company.
- Manage corporate governance and ensure compliance with all statutory and regulatory obligations.
- Review and revise business agreements, public announcements, terms and conditions, etc.
- Lead internal audits and investigations, respond to external audits, and manage any litigation or regulatory actions.
- Coordinate with various department heads to ensure that company practices are in alignment with legal and regulatory frameworks.
- Train and supervise the legal and compliance department staff, ensuring high levels of performance and professional development.
- Stay abreast of changes in laws that affect the company’s operations and strategic initiatives.
- Represent the company to external stakeholders and regulatory bodies.
- Lead KYC, CDD, and AML related work, ensuring accurate KYC/CDD records.
- Identify & escalate risks to management, when necessary.
- Support the effectiveness of the firm's compliance monitoring program - i.e., reviewing of marketing materials, monitoring of clients correspondence, provide oversight into staff's trading activities, conducting investment compliance monitoring to ensure the firm's business is compliant with regulatory requirements.
- Conduct compliance and regulatory training to internal staff.
- Contribute to the investment portfolio risk analysis and monitoring.
Requirements:
- Bachelor degree or higher in Law, Finance, Business Administration, or a related field.
- Minimum of 8 years of relevant experience in experience in regulatory compliance and AML/CFT within financial institutions,
- Strong knowledge of MAS regulations and the Securities and Futures Act.
- Interest in the crypto industry and a willingness to stay informed about industry trends and developments.
- Proven experience in managing compliance within a complex organizational structure.
- Excellent negotiation, communication, and presentation skills.
- Demonstrated ability to think strategically and provide leadership across multiple levels of an organization.
- Multi-lingual skills (English and Mandarin) are a plus, given the need to work across different cultures and geographies.
- Ability to work independently and as part of a team.
- Professional certifications in compliance or AML/CFT are an advantage (e.g., ICA, ACAMS).
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